Entries by Jay Gettenberg

FINRA Notice 15-48

Summary Effective Date: April 2, 2016 Pursuant to rule amendments that will become effective on April 2, 2016, FINRA will expand its alternative trading system (ATS) transparency initiative to publish the remaining equity volume executed over-the-counter (OTC) by FINRA member firms, including the trading activity of non-ATS electronic trading systems and internalized trades. Beginning on […]

FINRA Notice 15-47

Summary Implementation Date: May 23, 2016 The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules to require an indicator when the TRACE report does not reflect a commission or mark-up/mark-down. The implementation date for these amendments is May 23, 2016. The amended rule text is available in the online FINRA Manual. […]